Displaying results 381 - 390 of 395
… possibly need to increase compliance staff and/or provide training for existing compliance staff to ensure effective …
… policies and procedures, technology systems, and training programs to address requirements imposed by SD …
… security \254\ as well as credit,\255\ disclosure,\256\ training,\257\ risk management,\258\ personnel,\259\ and/or … security \254\ as well as credit,\255\ disclosure,\256\ training,\257\ risk management,\258\ personnel,\259\ and/or …
… Act violations; (ii) The whistleblower's education, training, experience, and position of responsibility at the … Act violations; (ii) The whistleblower's education, training, experience, and position of responsibility at the …
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FR Doc 2010-29994[Federal Register: December 7, 2010 (Volume 75, Number 234)]
[Proposed Rules]
[Page 76139-76183]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr07de10-22]
[[Page 76139]]
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Part III…
… of such SDR established under proposed Sec. 49.11; (iv) a training program for employees responsible for swap data … to be used in connection with required reporting; (iii) a training program for employees responsible for real-time …
… incur some one-time costs such as costs associated with training traders and staff on the proposed rule. In … incur some one-time costs such as costs associated with training traders and staff on the proposed rule. In …
… organization must maintain staff of an adequate size, training, and experience to effectively implement a … The self-regulatory organization must provide annual ethics training to all staff with responsibilities for the … organization must maintain staff of an adequate size, training, and experience to effectively implement a …
… however, incur some costs, such as costs associated with training staff on the new clearing requirement rules. In … however, incur some costs, such as costs associated with training staff on the new clearing requirement rules. In …
… things, policies and procedures, technology systems, and training programs to address requirements imposed by SD …